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Wealth Management
Compliant Communication Archiving
Complexity
Medium
Timeline
6-10 weeks
Outcomes
4+
Challenge
Email and communication archiving scattered across multiple platforms without unified search, retrieval, or supervision capabilities required for SEC/FINRA compliance.
Solution
Integrate Smarsh, Global Relay, or similar archiving solution with Salesforce to capture, archive, and supervise all client communications with centralized search and e-discovery capabilities.
Key Outcomes
- 100% communication capture and archiving
- Unified search across all communication channels
- Automated supervision and compliance workflows
- Ready for regulatory audits and e-discovery
Tags
compliancecommunication-archivingwealth-managementsec-finrasupervision
Implementation Timeline
6-10 weeks
Medium Complexity